| 19-01403 | 08/16/2021 | Claimant(s): Katalyst Securities LLC
Claimant Lawyers(s): Adam B. Oppenheim
Respondent(s): Marker Therapeutics.
Respondent Lawyers(s): Eric A. Kuwana
Arbitrator(s): John F. Duane, Robert E. Anderson, David Stein
Hearing Site: New York, NY
| | |
| 20-02064 | 03/08/2021 | Claimant(s): David Smith
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Jeff Palmer
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
| | |
| 20-00501 | 03/01/2021 | Claimant(s): Todd Cirella
Claimant Lawyers(s): Thomas P. McEvoy
Respondent(s): Laidlaw & Company (UK) Ltd.
Respondent Lawyers(s): Charles Smulevitz
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
| | |
| 19-02180 | 10/19/2020 | Claimant(s): Amanda B. Straight Revocable Trust
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph Serino
Arbitrator(s): John F. Duane, Gerald H. Grayson, Patricia Kathleen Costello
Hearing Site: New York, NY
|  | $0 |
| 18-00504 | 06/07/2019 | Claimant(s): Robert Traenkle
Claimant Lawyers(s): Adam B. Oppenheim
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): David S. Paul, John F. Duane, James Bromley Bragg
Hearing Site: New York, NY
| | |
| 18-02021 | 11/26/2018 | Claimant(s): Eli Levy
Claimant Lawyers(s): Avrum Aaron
Respondent(s): Alpine Securities Corporation
Respondent Lawyers(s): Michael Cruz
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
| | $38 |
| 15-03256 | 03/02/2018 | Claimant(s): Estate of Barbara Weiden Schwartz Fischl
Claimant Lawyers(s): Douglas Desjardins
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gilbert Serota
Arbitrator(s): John F. Duane, Linda J. Baer, Michael Jaffe
Hearing Site: New York, NY
| | $0 |
| 17-01017 | 09/01/2017 | Claimant(s): The Vertical Group
Claimant Lawyers(s): Robert Schaffer
Respondent(s): Raphael Hochberg
Respondent Lawyers(s): Raphael Derek Hochberg
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
| | |
| 16-00079 | 08/10/2017 | Claimant(s): Estate of Louis J. Levy
Claimant Lawyers(s): Richard J. Sillman
Respondent(s): Morgan Stanley & Co., Citigroup Global Markets.
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Evonne W.J. Tolbert, John F. Duane, Brooks White
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
| 17-00183 | 05/26/2017 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Christopher Manuel Rodriguez
Respondent(s): James Acosta
Respondent Lawyers(s): James P. Acosta
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
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